April 12, 2022 - Event

Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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March 22, 2022 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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March 15, 2022 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

This session will focus on the critical risk area of portfolio compliance.
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March 17, 2022 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

This session will provide insight into the meaning of “best execution,” and will focus on how strong policies and procedures can help an investment adviser fulfill its fiduciary obligations.
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March 10, 2022 - Event

Transitioning to the New Advertising Rule

This session will review the revolutionary changes and identify and discuss possible approaches firms may take to address them in their policies and procedures.
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March 8, 2022 - Event

Investment Adviser Performance and Advertising

This session is designed to help advisers avoid the common pitfalls and understand the fundamental advertising rule requirements and the many SEC no-action letters
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February 10, 2022 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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February 15, 2022 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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February 8, 2022 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
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February 3, 2022 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers

This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.
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